2018057937201 Steven R. Perlstein CRD 2206197 AWC sl (2021-1615594804209).pdf
FINANCIAL INDUSTRY REGULATORY AUTHORITY
LETTER OF ACCEPTANCE, WAIVER, AND CONSENT
NO. 2018057937201
TO: Department of Enforcement
Financial Industry Regulatory Authority (FINRA)
RE: Steven R. Perlstein (Respondent)
General Securities Principal Financial and Operations Principal CRD No. 2206197
Pursuant to FINRA Rule 9216. Respondent Steven R. Perlstein submits this Letter of Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.
2020068711601 Autumn Jordan CRD 7099142 AWC va (2021-1615594804368).pdf
FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2020068711601 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Autumn Jordan (Respondent) Former Associated Person CRD No. 7099142 Pursuant to FINRA Rule 9216, Respondent Autumn Jordan submits this Letter of Acceptance, Waiver and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.
2020068731301 Valerie Idarraga Ceballos CRD 6904661 AWC va (2021-1615594804226).pdf
FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2020068731301 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Valerie Idarraga Ceballos (Respondent) Former Investment Company and Variable Contracts Products Representative CRD No. 6904661 Pursuant to FINRA Rule 9216, Respondent Valerie Idarraga Ceballos submits this Letter of Acceptance, Waiver and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.